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Bank Law Monitor

A legal blog for the financial services industry

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SEC Approves Nasdaq’s Revised Board Diversity Disclosure Deadlines
On December 14, 2022, the Securities and Exchange Commission (SEC) approved a proposed rule change with regard to upcoming disclosure deadlines in Nasdaq Listing Rules 5605 and 5606. The rule change aligns the disclosure deadlines in the rules with c...
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Ninth Circuit Expands Securities Seller Liability to Social Media Promoters
On December 21, 2022, the Ninth Circuit sent a holiday gift to investor plaintiffs and a stocking full of coal to promoters advertising on social media. If you are thinking about touting your business plan on Instagram, think again. The court held fo...
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SEC Rule Amendments on Insider Trading Arrangements
The Securities and Exchange Commission (SEC) held an open meeting on December 14, 2022, in part, to consider amendments to Rule 10b5-1 and related disclosure rules, including Rule 10b5-1 trading plans, insider trading policies, and issuer and insider...
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Meet Diana Ramos, Our Newest Financial Services Attorney
Dec 08, 2022
The Miller Nash financial services industry team is thrilled to welcome Diana Ramos. Diana is a seasoned banking industry professional who will be working in our Portland office. She assists banks, credit unions, and other financial institutions with...
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ABA’s Bank Marketing Newsletter: College Athletes Starring in Bank Marketing—NIL Rule Changes Mean New Opportunities
Nov 01, 2022
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On July 1, 2021, the National Collegiate Athletic Association adopted major changes to its longstanding prohibition on student-athlete participation in marketing opportunities, ushering in a new era for college athletics. As the name, image, and like...
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Why Does My Lender Want My Attorney to Send It an Opinion Letter?
Although they have been around for many years, it is becoming more common for a commercial loan lender to require that the borrower’s counsel provide it with an opinion letter. At first blush, this may seem like an oddity: why should the borrower’s l...
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